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SOURCE OF INFORMATION : SECURITIES AND EXCHANGE BOARD OF INDIA WEBSITE – PRESS RELEASES/ CHAIRMAN’S AND MEMBER’S ORDERS / AO ORDERS/ SAT ORDERS/ NEWSPAPER ADS
PERIOD COVERED : 01-JAN-1997 TO 21-NOV-2024

NAMES IN BROWN COLOUR
Names of entities/persons in brown colour denote that the regulatory order is not against them but their names have been mentioned only for association purposes.

STOCK BROKERS: ADVISED TO BE CAREFUL AND CAUTIOUS IN CONDUCT OF BUSINESS AS A STOCK BROKER

S.No. ENTITY PERSONS REGULATORY CHARGES REGULATORY ACTION(S) / DATE OF ORDER FURTHER DEVELOPMENTS
1 
History of entity/person RASHMI GEM STOCK & SHARES PVT.LTD.  

(Member : BGSE)
History of entity/person VENKATESH N.MURTHY
  		DEFICIENCIES IN REGISTRATION FORMS

DISCREPANCIES IN CLIENT CODES  		ADVISED TO BE CAREFUL AND CAUTIOUS IN CONDUCT OF BUSINESS AS A STOCK BROKER

25-JUN-2009
The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column.

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